0000899243-23-003144.txt : 20230201 0000899243-23-003144.hdr.sgml : 20230201 20230201171024 ACCESSION NUMBER: 0000899243-23-003144 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230130 FILED AS OF DATE: 20230201 DATE AS OF CHANGE: 20230201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riga Thomas J CENTRAL INDEX KEY: 0001726378 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35006 FILM NUMBER: 23577792 MAIL ADDRESS: STREET 1: 11500 S. EASTERN AVE., SUITE 240 CITY: HENDERSON STATE: NV ZIP: 89052 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SPECTRUM PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000831547 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 930979187 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11500 S. EASTERN AVE., SUITE 240 CITY: HENDERSON STATE: NV ZIP: 89052 BUSINESS PHONE: 702-835-6300 MAIL ADDRESS: STREET 1: 11500 S. EASTERN AVE., SUITE 240 CITY: HENDERSON STATE: NV ZIP: 89052 FORMER COMPANY: FORMER CONFORMED NAME: NEOTHERAPEUTICS INC DATE OF NAME CHANGE: 19960819 FORMER COMPANY: FORMER CONFORMED NAME: AMERICUS FUNDING CORP DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2023-01-30 0 0000831547 SPECTRUM PHARMACEUTICALS INC SPPI 0001726378 Riga Thomas J 2 ATLANTIC AVENUE, 6TH FLOOR BOSTON MA 02110 1 1 0 0 CEO & President Common Stock, $0.001 par value 2023-01-30 4 S 0 69389 0.544 D 2008022 D Common Stock, $0.001 par value 2023-01-31 4 S 0 107424 0.66 D 1900598 D Common Stock, $0.001 par value 14139 I By 401(k) plan All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. This transaction was executed in multiple trades at prices that when rounded to the nearest cent were equal to $0.66. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. /s/ Keith M. McGahan, Attorney-in-Fact for Thomas J. Riga 2023-02-01